Inspection rights: Board-authorized inspectors may access SRO premises, examine records and compel production of documents and statements. Officers and employees of a Self Regulatory Organization subject to inspection must produce books, accounts and documents and furnish statements and information as required by the Board. Inspectors and authorized persons have reasonable access to SRO premises and associated premises, may examine books, records, documents and computer data, obtain copies of relevant materials, and examine or record statements of the Chairman, Directors, members and employees; the SRO must provide reasonable assistance.
Cases where this provision is explicitly mentioned in the judgment/order text; may not be exhaustive. To view the complete list of cases mentioning this section, Click here.
Provisions expressly mentioned in the judgment/order text.
Inspection rights: Board-authorized inspectors may access SRO premises, examine records and compel production of documents and statements.
Officers and employees of a Self Regulatory Organization subject to inspection must produce books, accounts and documents and furnish statements and information as required by the Board. Inspectors and authorized persons have reasonable access to SRO premises and associated premises, may examine books, records, documents and computer data, obtain copies of relevant materials, and examine or record statements of the Chairman, Directors, members and employees; the SRO must provide reasonable assistance.
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